Monitoring Compliance with Open Access policies

In the last few years, academic communities have seen an increase in the number of Open Access (OA) policies being adopted at the institutional and funder levels. In parallel to policy implementation, institutions and funders have also been engaged in developing mechanisms to monitor academics and researchers compliance with the existing OA policies. This study highlights a few of the cases where compliance is being effectively monitored by institutions and funders. In the first section, Open Access is briefly overviewed and the rationale for monitoring OA policy compliance is explained. The second section looks at best practices in monitoring policy compliance with OA policies by funders and institutions. The case studies reflect on compliance with the UK Funding Councils and the USA National Institutes of Health OA policies. The third section makes recommendations on what processes and procedures universities and funders should adopt to monitor compliance with their OA policies. The final section recapitulates some of the key ideas related to monitoring policy compliance.

Open Access policy effectiveness: A briefing paper for UK Higher Education Institutions

There are now almost 700 Open Access policies around the world, two thirds of them in universities and research institutes. There is considerable variation across these policies in terms of the conditions they lay down for authors and of their effectiveness. This briefing paper lays out the main issues that affect the effectiveness of a policy in providing high levels of Open Access research material.

Review of Open Access Policy Dependencies

Knowledge Exchange analysed the extent to which OA policies are dependent on a number of non-commercial, compliance-enabling services used by researchers and institutions. This work offers clear evidence to policy makers on the importance of a number of non-commercial services to the successful implementation of OA policies. It also shows that many of these services are at risk and warrant further support in financial and/or governance terms. The summary report (available here) includes an analysis of a wide range of OA services and policies currently in use and presents: • an analysis of the common elements found in the current OA policies adopted by research funders and institutions • a set of case studies that illustrate the direct or indirect dependency of OA policies on key services • the views of stakeholders on the key services that enable compliance with OA policies • use cases, presented in accessible formats and language for a non-technical audience • a set of priorities for action if OA policies are to be successfully implemented

From policy development to effectiveness and alignment: An analysis of the UK’s Higher Education Open Access policy landscape

The number of Open Access (OA) policies that have been adopted by universities, research institutes and research funders has been increasing at a fast pace. The Registry of Open Access Repository Mandates and Policies (ROARMAP) records the existence of 724 OA policies across the world, of which 512 have been adopted by universities and research institutions. The UK is one of the leading countries in terms of OA policy development and implementation with a total of 85 institutional1 and an estimated 35 funder2 OA policies. In order to understand and contextualise how OA policies are developed and how they can be effectively implemented and aligned, this brief looks at two areas. The first section provides an overview on the processes evolving around policy making, policy effectiveness and policy alignment. In particular, it summarises the criteria and elements generally specified in OA policies, it points out some of the relevant steps informing the development, monitoring and revision of OA policies, it outlines what OA policy elements contribute to policy effectiveness, and highlights the benefits in aligning OA policies. The second section revisits the issues previously discussed within the context of the UK institutional (universities) OA policy landscape.

Open Access in the UK Briefing on the UK Open Access Case Study

Open Access (OA) policies have been adopted at the national, institutional and funder levels in the UK and various infrastructural support mechanisms are available to facilitate open access. In July 2012, following an independent study on ‘Accessibility, sustainability, excellence: how to expand access to research publications’ the UK Government announced its OA policy. The Government’s policy determines that ‘support for publication in open access or hybrid journals, funded by Article Processing Charges (APCs), [i]s the main vehicle for the publication of research’. At the same time that the UK Government announced its OA policy, the UK’s major research funder, the Research Councils UK (RCUK), revised its OA policy announcing its ‘preference for immediate [Gold] Open Access with the maximum opportunity for re-use’. In March 2014, the UK Funding Councils announced their OA policy for the post-2014 Research Evaluation Framework (REF). The policy requires the deposit of peer-reviewed article and conference proceedings in repositories (Green OA) and is applicable from 1 April 2016. By and large, two distinct OA routes are being promoted by the UK Government and RCUK (Gold OA) and the Funding Councils (Green OA). This scenario requires that continued efforts are made to ensure that advice and support are provided to universities, academic libraries and researchers on the distinct OA policies and on policy compliance. The UK research institutions have been adopting OA policies from as early as 2003 and there currently are 85 institutional OA policies. Despite distinct OA policies having been adopted by policymakers, national research funders and research institutions, the UK’s movement towards OA has been a result of stakeholders coordinated efforts and is considered to be a case of good practice.

Submission Fees - A Tool in the Transition to Open Access?

Knowledge Exchange examined different routes in achieving the vision of 'having a layer of scholarly and scientific content openly available in the internet'. One of these routes involves exploring new developments in the future of publishing. Work is being undertaken investigating interesting alternative business models which could contribute to the transition to open access. In this light KE has commissioned a study investigating whether submission fees could play a role in a business model for Open Access journals. The general conclusion of the report bearing the title ‘Submission Fees a tool in the transition to open access?', written by Mark Ware, is that there are benefits to publishers in certain cases to switch to a model in which an author pays a fee when submitting an article. Especially journals with a high rejection rate might be interested in combining submission fees with article processing charges in order to make the transition to open access easier. In certain disciplines, notably economic and finance journals and in some areas of the experimental life sciences, submission fees are already common. Overall there seems to be an interest in the model but the risks, particularly those involved in any transition, are seen by the publishers to outweigh the perceived benefits. There is also a problem in that the advantages offered by submission fees are often general benefits that might improve the system but do not provide publishers and authors with direct incentives to change to open access. To support transition funders, institutions and publication funds could make it clear that submission fees would be an allowable cost. At present this is often unclear in their policies. Author acceptance of submission fees is critical to its success. It is an observable fact that authors will accept them in some circumstances. Author acceptance would require further study though. Based on the interviews and the modelling in the study one model in particular is regarded as the most suitable way to meet the current requirements (i.e. to strengthen open access to research publications). In this model authors pay a submission fee plus an Article Processing Fee and the article is subsequently made available in open access. Both fees are set at levels that balance acceptability with the author community with securing a meaningful mix of revenues for the Publisher.

Sustainability of Open Access Services: Phase 4 Workshop report

Phase 4: Review of the conditions under which individual services and platforms can be sustained On Tuesday 1 October 2013, in Bristol, United Kingdom, Knowledge Exchange brought together a group of international Open Access Service providers to discuss the sustainability of their services. A number of recurring lessons learned were mentioned; Though project funding can be used to start up a service, it does not guarantee the continuation of a service and it can be hard to establish the service as a viable entity, standing on its own feet. Research funders should be aware that if they have policies or mandates for making research outputs available they will eventually also be responsible for on-going support for the underlying infrastructure. At present some services are used globally but the costs are only covered by a limited geographic spread, sometimes only a number of institutions or only one country. Finding other funding sources can be challenging. Various routes were mentioned including commercial partnerships, memberships, offering additional paid services or using a Freemium model. There is not one model that will fit all. As more services turn to library sponsorship to sustain them, one strategy might be to bundle the requests and approach a group of research and infrastructure funders or institutions (and others) with a package rather than each service going through the same resource consuming process of soliciting funding. This will also allow the community to identify gaps, dependencies and overlap in the services. The possibility of setting up an organisation to bundle the services was discussed and a number of risks were identified.

Birkenhead Sixth Form College: Opening up remote access to the college network brings wider benefits to all

Birkenhead Sixth Form College implemented a virtual network to open up remote access to the college network for its students, staff and governors. In particular, for childcare students on work placements, this has meant 24/7 secure access to their work and resources, and the ability to make timely updates to their work evidence logs. The impact is better continuity of learning and a dramatic increase in the hand-in rate for work. For the staff, governors and college as a whole, the benefits of anytime-access to the network are more than were envisaged at the outset; not only is it saving them valuable time and eliminating the need for large print runs, it is expected to bring cost-savings to the College in the long term.

Keeping Research Data Safe: a cost model and guidance for UK universities (KRDS1)

This study has investigated the medium to long term costs to Higher Education Institutions (HEIs) of the preservation of research data and developed guidance to HEFCE and institutions on these issues. It has provided an essential methodological foundation on research data costs for the forthcoming HEFCE-sponsored feasibility study for a UK Research Data Service.It will also assist HEIs and funding bodies wishing to establish strategies and TRAC costings for long-term data management and archiving. The rising tide of digital research data raises issues relating to access, curation and preservation for HEIs and within the UK a growing number of research funders are now implementing policies requiring researchers to submit data management, preservation or data sharing plans with their funding applications.

Sustainability of Open Access Services - Phases 1 & 2

Although some services that support Open Access have developed a sustainable business model, many started as projects and continue to run on recurrent project funding or goodwill. If these are critical components of the evolving scholarly communication system the foundation of Open Access is vulnerable. Knowledge Exchange has commissioned this study as part of a larger programme of work to look at the issue of sustaining key services into the long term. This report focuses on phases one and two of the programme. Phase one was a scoping exercise, carried out mainly through a literature review and an extensive stakeholder interview exercise, to describe the services that are currently available or would be valuable in the future. It also investigated what roles stakeholders could play in this future scenario. Phase two was a stakeholder consultation and engagement exercise. The aim was to engage stakeholders with the work programme so that they could contribute their views, get involved with the work and have a voice in the thinking about future scenarios. The key services are presented for three future scenarios: ‘Gold’ Open Access, fully ‘Green’ Open Access and Green’ Open Access supplementing subscription access as ‘Gold’ OA grows. Three strategic areas are identified as having particular potential for future work. These are embedding business development expertise into service development; consideration of how to move money around the system to enable Open Access to be achieved optimally; and governance and coordination of the infrastructural foundation of Open Access. The report concludes with seven recommendations, both high-level and practical, for further work around these strategic areas.

SUSTAINABILITY OF OPEN ACCESS SERVICES: Phase 3: The Collective Provision of Open Access Resources

The report ‘Sustainability of Open Access Services - Phase 3: The Collective Provision of Open Access Resources’ discusses the economic and institutional issues faced by those sustaining free infrastructure services. It also identifies strategies to coordinate the collective provision of infrastructure services. These considerations are valuable input for the phases 4 and 5 of the project ‘Sustainability of Open Access Services’. This body of work will lead to practical recommendations for funders and project planners to consider when initiating an infrastructure service. The report was written by Raym Crow and funded by SPARC. Several key messages from the report are of interest. Providing infrastructure services as a public good imposes specific requirements on the design of the sustainability model. The challenge is to get enough institutions to reveal their demand for the service and support this. Arguments for an institution to support can be altruism or reciprocity or there being sufficient benefit to the institution for supporting a service. Institutions can also work together on a service through collective action (collecting voluntary contributions) and cross subsidies (funding collected by offering exclusive benefits to contributors).

Report on Knowledge Exchange workshop Sustainable Business Models for Open Access Services

The work on the sustainability of organisations which exist to provide services to the Open Access community, commissioned by Knowledge Exchange, identified that such organisations need to have a business-like approach and that the absence of rigorous attention to all aspects of the business may lead to sub-optimal performance and, potentially, failure. With this in mind, a Sustainability Index was drafted for consideration by attendees at the Knowledge Exchange workshop on sustainability in Utrecht (February 2014). Over fifty participants, representing Open Access service providers, IT-infrastructure and research funders, and users,worked to making past recommendations from KE work on Open Access actionable.

Open Access Business Models for Research Funders and Universities

This briefing paper offers insight into various open access business models, from institutional to subject repositories, from open access journals to research data and monographs. This overview shows that there is a considerable variety in business models within a common framework of public funding. Open access through institutional repositories requires funding from particular institutions to set up and maintain a repository, while subject repositories often require contributions from a number of institutions or funding agencies to maintain a subject repository hosted at one institution. Open access through publication in open access journals generally requires a mix of funding sources to meet the cost of publishing. Public or charitable research funding bodies may contribute part of the cost of publishing in an open access journal but institutions also meet part of the cost, particularly when the author does not have a research grant from a research funding body

Open access digest issue one

The first quarterly digest of news about Jisc’s work in open access (OA).